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Effective Management and Oversight of the Custody Rule for Financial Firms

Event Details

Effective Management and Oversight of the Custody Rule for Financial Firms

Time: January 9, 2018 from 1pm to 2pm
Location: 26468 E Walker Dr, Aurora, Colorado 80016-6104
Street: 26468 E Walker Dr, Aurora, Colorado 80016-6104
City/Town: Aurora
Website or Map: https://goo.gl/S4DYb1
Phone: 7209961616
Event Type: online, webinar
Organized By: Training Doyens
Latest Activity: Dec 4

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Event Description

OVERVIEW

There have been significant deficiencies over the years since The Custody Rule was amended.   It is imperative for Advisers to understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets and to avoid significant regulatory enforcement and penalties.  We will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”.  We will explain the rule and the potential effect it may have on your firm and clients.

SEC-registered investment advisers who have custody of their clients’ funds or are deemed to have custody of their clients’ assets under the rule must safeguard those assets as required by the SEC’s “custody rule.  The custody rule is designed to provide additional safeguards for investors against the possibility of theft or misappropriation by investment advisers who are registered with the SEC.

WHY SHOULD YOU ATTEND

Stay informed on the recent Custody rule issues to keep your firm out of the regulators spotlight.  Learn what to do when you have Custody and how to effectively manage the compliance requirements.

AREAS COVERED

  • Rule 206(4)-2 
  • Custody Defined
  • Frequently Asked Questions
  • We have Custody, Now What?
  • Custody Fees
  • Client Communication
  • Internal Forensic Testing
  • External Forensic Testing

LEARNING OBJECTIVES

Development, Maintenance and testing of the IPS process.

WHO WILL BENEFIT

This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals

 

For more detail please click on this below link:

https://goo.gl/S4DYb1

 

Email: support@trainingdoyens.com

Toll Free: +1-888-300-8494

Tel: +1-720-996-1616

Fax: +1-888-909-1882

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